Proposal Preparation & Submission

1. Proposal Preparation & Submission Teri Hansen, Contracting Officer Sophia Herbert-Peterson, Contracting Officer Candice Ferguson, Research Education and Communications Manager

2. Objectives • General purpose preparation guidelines and processing procedures at Georgia Tech including • terminology • preparation steps for the non-scientific portions of proposals • institutional forms and endorsements • working with a contracting officer • industrial contracting

3. About Georgia Tech: Sponsors of Research Industry Sponsored Awards $ Millions 20% 14% 13% Awards by Sponsor

4. Gifts Vs. Sponsored • Gifts to the Foundation • Foundation Relations (Development) - No Terms and Conditions - No Deliverables - All IP is owned by GT • Sponsored Agreement • Office of Sponsored Programs - Terms and Conditions - Deliverables - If collaborative effort - IP can be Joint

5. 1: Gift or Sponsored! • Established when funds from outside sources are for unrestricted use and are free of the constraints or obligations

6. 1: Gift or Sponsored! • What is a gift: Established when funds from outside sources are for unrestricted use and are free of the constraints or obligations

7. 2: Gift or Sponsored! • The agreement creates an obligation to report projects results from the project

8. 2: Gift or Sponsored! • What is a sponsored agreement: The agreement creates an obligation to report projects results from the project

9. Proposal Process Flow Sponsor Reviews & Approves RFP/ FOA Posted OSP/Sponsor Negotiate Pre-proposal Requests • IRB/IACUC/IBC • MTA/NDA • Export Issues • COI Central Follow-up • IRB/IACUC/IBC • MTA/NDA • Export Issues • COI OSP Reviews & Approves Award Set-up In OSP DB • Request G&C Project # PI/Dept Search for FOA: Proposal Written & Routing Sheet Completed Dean or Delegate Reviews & Approves Dept. Reviews & Approves G&C Accounting Award Initiation Package • Budget • Billing/Payment Inst. • Deliverables • Terms & Conditions

12. Signature Page

13. Signature Page

14. Certifications • I certify that I have read and understand the Institute's conflict of interest policy all required financial disclosures were made; and I will comply with any conditions or restrictions imposed by the Institute to manage, reduce, or eliminate conflicts of interest • coi.research.gatech.edu

15. Special Review IF: GTRC is working with the Emory University on a NIH proposal and Emory is the prime recipient and we are receiving a subgrant from them, how do you fill this out?

16. Special Review IF: If GTRC is working with Boeing on a proposal that is being funded by DARPA but the Army is actually awarding the funds to us, how do you fill this out?

17. Responsible Conduct of Research

18. eRA & Tools • Sponsor Submission Systems • Grants.gov • Fastlane • NSPIRES • Commons • Others…

19. Find Funding Source Cayuse424/ Subawards.com • https://gatech.cayuse424.com • Cayuse supports 95% of all grants.gov applications • Subawards.com (FREE) allows for import of subaward budgets • OSP offers Cayuse classes and technical support • Not used for: • NSF • NASA Office of Sponsored Programs Proposal Prep & Submission

20. Resident Instruction Information • Awardee Organization = • Performing Organization =

21. Resident Instruction Information • Awardee Organization = Georgia Tech Research Corporation • Performing Organization = Georgia Institute of Technology

22. Subawards • If GTRC is getting $ from Emory… • Same requirements as “prime” awardee. • Statement of Work • Budget & Budget Justification • C. V. • Appropriate Certifications • Routing Forms

23. If you are including a Sub-Award on your proposal…. • If GTRC is giving money to Emory • Need institutional approval (letter of commitment) • Route the proposal at their own institution who may have different lead times than us. • Statement of Work • Budget & Budget Justification • C. V. • Appropriate Certifications • Routing Forms

24. Pre Award Tools WebWise: ICOL • Proposal Summaries • Document ID • Project Number • Contracting Officer • Track Status

25. Organization Charthttp://osp.gatech.edu/staff-directory

26. Contracting • Contracting Officers Role to: • review proposals and cost estimates for compliance with sponsor requirements and Institute policies • prepare the business portion of proposals. • serve as the sponsor’s point of contact for business matters • negotiate the final terms of the contract or grant and sign, in conjunction with an officer of GTRC or GTARC, the resulting agreement

27. TheGoldenRule • Deadline Management • Formatting • Guidelines • Page Limit • Type Size • Section Headers • Appendices (Y or N) • Agency terminology • Scoring or Evaluation Criteria • eRA(submission systems)

28. Ethical Issues • Financial Stewardship (Regulations: OMB Circulars, FAR) • Trust from “the People” (Compliance Issues) • Obligations (Deliverables) • Stewardship of Research Results (what results the sponsor wants versus good research) • Signature Authority

29. Working with A Contracting Officer • Notify them of upcoming deadlines and include the RFP or Program Announcement • Route budget and institutional commitments early (follow up with project description) • Don’t wait to the last minute 

30. Types of Proposals • Pre-proposals • Unsolicited Proposals • Solicited Proposals • Limited Submissions or Restricted Programs

31. Pre-proposals Letter of Intent White Papers (good idea) Continuations Supplements Renewals Sub-Awards Routing Procedures

32. Proposal Development • Institutional Policies and Procedures • Proposal Writing (class) • Budget Development (class) • Sponsor Forms • Review (sometimes exceptions to Terms & Conditions) • Signature Authority • Deadline Management

33. Collaborative Project Development • Teaming Agreements • Collaborative Research • Intra-Institutional Research • Inter-Institutional Research • Subawards

34. Types of agreements • Grants: • More Investigator Driven • Transfer money, property, services, or anything of value to recipient in order to accomplish a public purpose. • No substantial involvement is anticipated between the sponsor and recipient during the performance of the activity • Cooperative Agreement: • Transfer of funds to recipient to accomplish a public purpose and to provide assistance with substantial involvement between the parties • Contract: • To acquire property or services for direct benefit or use by the sponsor. • Provides tangible goods and services Assistance Mechanisms Procurement

35. Office of Industry Engagement Translational Research Functional Group

36. Industry Collaborations & Affiliated Licenses • Review industry proposals • Meet with potential sponsors • Draft, negotiate and execute master & single research agreements • Draft & execute center membership agreements and by-laws • Non-disclosure agreements • SBIR/STTR applications & agreements • Post-award account maintenance

37. Where to Submit Routing Sheets Resident Instruction: • Submit routing sheets to Industry Mailbox Industryproposals@gtrc.gatech.edu GTRI: • Submit routing sheets through PRSys https://webwise.gtri.gatech.edu

38. Industry Process

39. Types of Agreements • Cost Reimbursable No Fee preferred choice • GTRC recovers all the costs incurred (least risk) • Provide for payment of allowable incurred cost • Establishes an estimate of total costs for the purpose of obligating funds and establishing a ceiling that the contractor may not exceed. • Fixed Price • Used only when cost of research is known • Providing a firm price • Time and Materials • Used primarily at GTRI

40. Information Flow: Routing Sheet to Research Project Agreement

41. Information Flow Data From the Proposal Routing Sheet is necessary to populate the Cost Reimbursement Research Project Agreement

42. Information Flow

43. Statement of Work • Should define in specific terms the areas of research, tasks and objectives • Deliverables stated in SOW should mirror the contract terms (reports only)

44. Georgia Imposed Restrictions Warranties & Indemnification • Warranty – states that the research is experimental and there are no guaranteed results. • Indemnification – provides protection against possible damages, including legal suits. Provides compensation for such damages.

45. Publications • Outlines the expectations of sponsor and institution with respect to dissemination of research results • Right to publish results is important to faculty and students. • Should provide the right to review prior to publication, not to approve. (Typically agree to 30 days.)

46. Legal Framework on IP Non-Profit Status 501 c(3) • Educational • Scientific GaTech’s Policy on Intellectual Property Bayh-Dole Act Internal Revenue Procedure 07-47 Educational • Instruction or training of individuals and community Scientific • Research to be carried in the public interest. • Results of research available to the public in a non-discriminatory basis. Not: • Activities ordinary to commercial or industrial operations. • Inspection or testing of materials or products • Designing or construction of equipment, building, etc. • No work for hire Non-profit Status 501 c(3)

47. Governing Laws • We prefer to agree to the state laws of Georgia. • We can remain silent.

48. Confidential Information • Non-Disclosure Agreements (NDAs) • Legal Affairs • GTRC • Research agreements and services agreements have an embedded confidentiality and nondisclosure provision

49. Assignment • Allows for GTRC to assign any or all of its rights or obligations to GIT.

50. Continuing Education • NCURA • SRA • NCUBO • AUTM • OSP • Brown Bags • Satellite Broadcasts